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Michael Joseph Clarke

CRD# 1078211·Registered 1986 - 2020
Barred: Michael Joseph Clarke was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Michael Joseph Clarke was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1986 - 2020. Michael had worked at 13 firms and has passed the SIE and Series 52 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

AVATAR CAPITAL GROUP LLC·CRD# 150136
BD
Jersey City, NJ
June 19, 2019 - September 17, 2020
AVATAR CAPITAL GROUP LLC·CRD# 150136
BD
Jersey City, NJ
July 19, 2016 - May 15, 2019
MARV CAPITAL INC.·CRD# 104390
BD
New York, NY
October 6, 2015 - August 9, 2016
TRADITION SECURITIES AND DERIVATIVES LLC·CRD# 28269
BD
New York, NY
November 15, 2010 - September 4, 2015
WHITAKER SECURITIES LLC·CRD# 121465
BD
New York, NY
March 3, 2008 - February 2, 2010
SEABOARD SECURITIES, INC.·CRD# 755
BD
New York, NY
December 10, 2004 - February 29, 2008
PECONIC SECURITIES LLC·CRD# 46781
BD
New York, NY
October 30, 2003 - November 2, 2004
SENTINEL BROKERS COMPANY, INC.·CRD# 40305
BD
Jupiter, FL
January 3, 2003 - July 9, 2003
W.A. CAPITAL MARKETS·CRD# 6292
BD
New York, NY
January 31, 2002 - April 22, 2002
CHAPDELAINE TULLETT PREBON, LLC·CRD# 7017
BD
New York, NY
February 26, 1997 - November 16, 2001
TULLETT & TOKYO SECURITIES, INC.·CRD# 19595
BD
New York, NY
January 19, 1993 - December 18, 1996
MINT BROKERS·CRD# 13681
BD
New York, NY
January 25, 1991 - January 18, 1993
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.·CRD# 10780
BD
May 24, 1989 - January 25, 1991
R. W. ELLWOOD & CO., INC.·CRD# 7021
BD
New York, NY
March 26, 1986 - June 5, 1989

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Current Firm

AC
AVATAR CAPITAL GROUP LLC

AVATAR CAPITAL GROUP LLC

CRD#: 150136 / SEC#: 8-68218
BD
Terminated by SEC on 08/29/2022

Contact Information

Established

Delaware since 03/16/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
FX DIRECT DEALER LLC ("FXDD")OWNER—
ASSENTATO, EMILCHIEF COMPLIANCE OFFICER1952191
ASSENTATO, EMILMEMBER, CHIEF EXECUTIVE OFFICER1952191
GARLAND, JOSEPH TIMOTHYCHIEF FINANCIAL OFFICER AND FINOP1043919

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 52 — Municipal Securities Representative Examination

Passed Mar 1986About the Series 52 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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